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Planning and Project Delivery Process
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ton. This guide was developed to communicate the planning, design and construction phases for new and renovated facilities on campus. It defines the roles and responsibilities of the participants involved in university projects and describes the steps involved in project delivery from early project planning through occupancy of the completed space.
Introduction Organizational Overview Communications Diagram
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Project Phases Initiate the Project
Plant Operations manages the process of planning, design
Plan the Project
and construction of all campus structures, landscapes and infrastructure. Project are initiated through Planning, implemented by Facilities Planning and Construction (FPC) or Facilities Management (FM) and then transitioned for ongoing support to Operations—all within Plant Operations.
Procure Professional Services Manage Design Procure Construction Services Manage Construction
These guidelines provide an overview of steps that are generally consistent for all projects. It is a process that is expanded for large and complex buildings and simplified for small space modifications. This process includes requirements of University of Houston and State of Texas. Processes presented are guidelines, and variances in the sequence of activities may be required because of unique project circumstances.
Closeout and Transition
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elcome to the Guidelines for Planning & Project Delivery at University of Hous-
Next Steps Requesting Service Building Coordinators Sustainability
It is Plant Operation’s goal to provide clear communications to improve project quality and customer understanding and satisfaction. The guidelines will be reviewed periodically for quality improvements and the evolving needs of the university.
Historic Renovations
Cover Photography: Richard Payne Chauncey Mann Nat Olivia Bauer College of Business Guide designed by: Aubrey Miller-Schmidt
THE WORK WE DO Pla nt O pe r a ti o n s
AT
Plant Operations supports UH’s academic facility needs while providing responsible stewardship for the long-term preservation of the university’s physical assets. Our staff strives to deliver highquality service to the university community while remaining cost effective and competitive.
For initial project requests
FIXIT 3-4948 www.uh.edu/plantops/services/ employees/project-delivery
MAINTENANCE OPERATIONS Central Facilities Services performs maintenance, custodial, landscaping, grounds, lock and key services.
Utilities provide campus utilities and energy services and sustainability program support.
Minor and Planned Projects manages minor construction renovations and projects under $1M.
Central Facilities Services 3-5688 Utilities 3-5791 Minor and Planned Projects 3-9611
DESIGN, CONSTRUCTION AND PROJECT DELIVERY Facilities Planning and Construction oversees campus design, major construction and renovation projects, technical support services and building design standards.
Facilities Planning & Construction 3-8025
PLANNING AND FACILITIES INFORMATION Planning and Facilities Information supports the university’s planning, property management needs, capital, master, space and renewal and deferred maintenance planning.
Planning 3-2449 Facilities Information 3-5541
STRATEGY AND STRUCTURE Plant Operations Administration includes labor relations, business planning and strategy, operational, administrative services, marketing and communications development.
Administration 3-5566
PROJECT SUPPORT RESOURCES Business Services supports financial, purchasing and contracting needs for Plant Operations units, information technology support and services.
Operational Accounting 3-5710 Project Accounting/ Contracts 3-2294
SAFETY Environmental Health and Safety/Risk Management (EHS) serves the university’s occupational and environmental health and safety, radiation, biological safety and insurance programs.
EHS & RM 3-5858
ORGANIZATIONAL OVERVIEW
PROJECT INTAKE
INTRODUCTION PLANNING AND PROJECT DELIVERY PROCESS The intent of the Planning and Project Delivery Process is to provide a comprehensive road map that will enable successful cost, schedule and quality performance on all university projects. The process provides a balanced, systematic approach to planning and delivery of facilities improvement projects and incorporates project management best practices.
PRIMARY COMMUNICATIONS DIAGRAM The diagram is an overview of the primary communication responsibilities within the Project Team—it is not an organizational chart. Each group provides input, guidance and professional expertise throughout the design, construction and closeout phases of a project. The Project Team includes representative(s) from four distinct groups formed according to function and expertise: Consultant Group, Technical Group and the University Community Group. The Project Team is responsible for communicating relevant issues about scope, budget and schedule to project groups and team members. The Project Manager leads the Project Team.
It is important to learn the language of the Guidelines and understand the roles and responsibilities of the different groups and individuals. The Primary Communications Diagram describes the Project Team, which includes all Project Stakeholders.
M
RA G IA
D S N
IO T ICA
PLANT OPERATIONS
UN
M M CO Y R A RIM
P
— Project Manager — Utilities & Technical Systems — Business Services — Planning — Central Facilities Services — EHRM
UNIVERSITY COMMUNITY GROUP
CONSULTANT GROUP
— Staff — Students — Project Representatives — Faculty — Dean/Academic Director
PROJECT TEAM
TECHNICAL GROUP Along with the Project Team, five additional teams are formed during the Chartering process, serving different functions throughout the project.
PROJECT TEAM
— Parking & Transportation — Public Safety — ADA Coordinator — Office of Information Technology
EXECUTIVE TEAM
STAKEHOLDERS
Final contractual or project cost approvals
Representatives that have indirect influence on the project
— Architect — Engineer — Interior Designer — Landscape Architect — Building Coordinator — Contractors — Construction Managers — Commissioning Authority
— Project Manager — Project Representatives — Architect/Engineer — Construction Manager — Project Accounting & Contracts Staff
FRIENDS & NEIGHBORS
Representatives that are affected by the project
PROGRAMMATIC
DESIGN &
& TECHNICAL COMMITTEES
PLANNING TEAM
Provide expertise as needed
Architect and Planning provide expertise as needed 5
INITIATE
A project is defined as:
PROJECT PHASES
the project
PLAN the project
APPROVE Board of Regents (BOR) & Texas Higher Education Coordinating Board (THECB)
PROCURE professional services
MANAGE design
PROCURE construction services
MANAGE construction
A temporary endeavor undertaken to create a unique product, service or outcome that has a beginning, requires substantial coordination and effort to accomplish, and has an end.
We have identified seven major project phases and steps for each phase. Each phase in the process is described in the following pages.
BUILDING CUSTOMER RELATIONSHIPS The foundation of a successful project is the development of a strong, service-focused relationship. It is important to remember that the university is also a customer and that Project Managers must balance the needs of the university with the needs of the project user. The benefits of a well-developed Planning and Project Delivery Process are satisfied customers who receive highquality projects that routinely meet expectations, costs and schedule goals; and a consistent customer focus that is adaptable to ever-changing demands and challenges. All projects are assigned a Project Manager to lead the Project Team and customers, stakeholders, design consultants and construction contractors through the design and construction process.
CLOSEOUT and transition
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THE PROJECT
INITIATE
PROJECT INTAKE All projects begin in one of two ways: — Through the Capital Planning Process — Via the Project Request Form: www.uh.edu/plantops/services/employees/project-delivery Call Customer Service FIXIT (3-4948)
CAPITAL PLANNING PROCESS This is the means by which the university reviews proposed new construction or major renovation projects, regardless of funding sources. Every year the university determines facilities funding allocation from all sources—state allocations, bonds and local funds—for all units. Final recommendations are presented to Senior Management and the Board of Regents. An ongoing facilities planning effort will include a review of conditions and suitability for the purpose of existing facilities, an analysis of facility needs for all colleges and across the university and prioritization of capital allocations to meet the most urgent needs through renovation, replacement and new construction.
PROJECT REQUESTS A Project Request Form must be submitted for funding allocations for academic units. Project approvals are determined by academic priority, which aligns facility conditions, functional adequacy, building reuse opportunities, academic needs and priorities, and available funds. The planning process promotes sustainability and stewardship and encourages more efficient use of space and enhanced interdisciplinary opportunities.
All projects must be initiated through a Project Request Form (PRF) accessed online. This includes request for new space, real estate related requests, study request and requests to initiate projects that have prior approval through the university’s Capital Planning Process.
GOAL PROJECT INTAKE STEPS — Project Request submitted and approved — Project Manager (PM) is assigned — PM validates scope of project with customer — PM reviews project with Planning (if applicable) — PM completes Estimate Letter and obtains approval from customer — Plant Ops staff works with customer to identify or validate funding sources — Plant Ops staff works with customer to transfer funding to project account — For projects more than $4 million, PM obtains Board of Regents approval (if required)
— Define the project and validate pre-planning — Develop an estimate — Identify or validate funding — Obtain approvals for the project
DELIVERABLES — Completed Project Request Form (PRF) — Signed Estimate Letter or approval of funding
KEY DEFINITIONS TYPES OF PROJECT REQUESTS CAPITAL PLAN PROJECTS: Projects approved in the university Capital Plan, or by executive management. COST ESTIMATES: An estimate of the cost of any construction work or renovation related to existing space. The completion of a cost estimate does not guarantee or imply project approval. REAL ESTATE SERVICES: Consultation services or initiating actions needed to purchase real estate, lease space to others or for assistance with site selection, real estate valuation, property management or other real estate activities. REPAIR AND RENOVATIONS: Includes work such as painting; carpeting; adding, removing or moving walls; and adding or removing utilities in space that is already assigned to the unit. A cost estimate will be prepared as part of processing this type of request. SIGNAGE REQUEST: Interior, exterior, commemorative plaques, building directories and studies. SPACE REQUEST: For new, additional or replacement space or to relinquish current assigned space based on assignable square feet (ASF). This could include on- and off-campus space, space owned by UH, and/or space owned by non-UH entities. Some of the options to satisfy your request for space could involve additional costs or fees. STUDY REQUEST: For any type of study, such as a feasibility study for a building renovation or new facility, an engineering/technical study; a physical planning study, such as a master plan, land use or study of a specific geographic area or physical campus issue.
CAPITAL FUNDING SOURCES BOND FUNDS: Bond funds are allocated to earnings and administrative units through a biennial request process. LOCAL FUNDS: Donor funds and unit or departmental funds typically augment state appropriations or bond funds to complete a project. STATE CAPITAL APPROPRIATIONS: Such appropriations are allocated to academic units through the Central Administration and Provost Approval. For further information, visit: www.uh.edu/plantops/services/employees/project-delivery 9
PLAN THE PROJECT
— To understand client(s) needs and expectations; and establish the project delivery team
GOAL
Project Planning is the process of aligning expectations and identifying the scope of work, estimate and timeline for the project. It includes establishing the project charter and further definition. Chartering is a structured process used to define the Project Team—membership, goals, purpose, critical success factors, roles and responsibilities of team members, operational guidelines, dispute resolution processes and other elements that give the team the clarity of purpose essential for high-quality performance. The chartering team may include members of the Project Team, the Executive Team and other support resources.
PROJECT PLANNING STEPS — Align project expectations; identify
scope of work, estimate, timeline — Develop charter and work plan
DELIVERABLES Project charter endorsed by participants includes:
Additional deliverables, for large-scale projects also can include:
— Project vision
— Procurement plan design phase
— Team structure
— Procurement plan construction phase
— Communications plan
— Communications plan
— Roles and responsibilities
— Change/risk management plan
— Budget — Schedule
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PROCURE PROFESSIONAL SERVICES This is a qualifications-based selection process that includes, in most cases, committee review, public advertisement and interviewing and selecting one of three to six architectural/engineering firms deemed most qualified by the selection team. This Procurement process begins in the Plan the Project phase when the goals, purpose and critical success factors are defined. This includes the disciplines needed, the qualities for each discipline, appropriate firm size, location (if applicable), past performance and other qualifications. Sometimes the Project Team participates in the selection of sub-consultants. Professional Services consists of the architect or engineer and their sub-consultants. This group most often is led by an architect but, in engineering dominated projects, may be led by an engineer. Most often the lead architectural or engineering firm proposes a team of sub-consultants representing special disciplines. Specialty consultants are sometimes required for such things as acoustics, food service, garages, and lighting. The Procure Professional Services phase is completed when a contract is executed with the consultants. Typically this is the firm that provides the architecture or engineering services. For large projects, it can include separate contracts with a commissioning consultant and/or other specialty consultants. A construction manager may be included on large projects to advise the team on construction schedule, methods and cost and to lead the construction process.
GOAL — To select the most qualified team of professional services consultants for the project
PROFESSIONAL SERVICES PROCUREMENT STEPS — Identify disciplines and selection criteria — Request for Proposal/Qualifications (RFP/RFQ) — Review proposals and create shortlist — Interview, rank and select consultant team — Negotiate and execute contract(s)
DELIVERABLES Project charter endorsed by participants includes: — Qualification submittals — Executed contract(s) with selected consultants
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MANAGE DESIGN GOAL
The Manage Design phase includes four distinct phases, each with deliverables: — To develop a project design that meets the needs of the project, including the critical success factors documented in the project charter (program, quality, budget and schedule goals)
— Program development or
program verification (POR) — Schematic design (SD) — Design development (DD) — Construction documents (CD)
The program is a written description of the requirements for the project, developed by the university or by the architect/ engineer. It includes objectives of the project and detailed information of all spaces, including size, relationships and technical aspects.
The schematic design phase determines the general scope and design features, including plans, massing, materials, character of the project, siting and relationship to its surroundings.
DESIGN STEPS
In design development, the project is defined to a greater level of detail to define a clear, coordinated description of all the aspects of the project, including systems and materials.
— Schematic design document
Creating construction documents is the last design phase and finalizes drawings and specifications for all components of the project. The primary objective of the construction document phase is to produce bid documents, including drawings and written specifications for contractors to bid on construction, and to obtain all necessary permits.
— Contract document development
The Project Team participates and reviews deliverables during each of the four design phase. Each phase includes an approval by the Project Team and cost estimates are provided and schedules are updated. Approvals are required to progress to the next design phase, and subsequent phases are based on the decisions and approvals of the previous phase.
— Complete contract
— Program development and approval
or program verification approval development and approval — Design document development
and approval and approval — Obtain building permit and
other required permits
DELIVERABLES documents (bid set) — Final estimate and schedule
KEY DEFINITIONS | MANAGING THE PROJECT MANAGE DELIVERABLES Effectively managing the design deliverables of a project is a critical role of the Project Manager. This entails continuously monitoring the scope of work being designed and comparing it to the scope of work that is planned and budgeted. The Project Manager proactively ensures that the project meets expectations within the defined constraints, including delivering a project on time and on budget and accomplishing the program and quality. For projects that affect the University Master Plan, including public spaces, the Campus Facilities Planning Committee (CFPC) will review the design at three document review meetings and will advise the Project Team. Approval is required at each design phase to proceed to the next. As a result of managing deliverables, change may be deemed necessary.
MANAGE PROJECT CHANGES Change management should occur during all design phases of the project. This involves carefully managing the project to keep it moving forward smoothly. Project Managers gather information so measurements and adjustments can be made to project progress and to ensure that the project’s goals can be accomplished.
PERFORM PROJECT CONTROLS Project controls include the budget, schedule, the program or requirements and previous approved documents. These controls enable Project Managers to communicate progress to the Project Team, management, customers and stakeholders and give Project Managers the justification for making any adjustments to the work plan. Changes that develop in the project should be recognized and acted upon in a proactive manner.
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CONSTRUCTION SERVICES
PROCURE
Procure Construction Services is often called the Bid and Award phase because the project is publicly advertised for bidding and the lowest responsive (best value) and responsible bidders are selected and contracted. Responsive means they followed the bidding requirements set in the contract specifications. Responsible means they can pass a responsibility analysis that takes into consideration past performance, financial stability and capability to perform work. In the State of Texas, there are typically six methods for construction and repair of permanent improvements to higher education facilities. — Competitive Sealed Bidding
— Design/Build Delivery Method (D/B)
— Competitive Sealed Proposal (CSP)
— Job Order Contract (JOC)
— Construction Manager-At-Risk (CMAR)
GOAL — To select the construction contractors
The project is usually coordinated by the lead contractor, which is most often the general trades contractor; however, contractors can be separately contracted by the university. For larger and/or more complex projects, the team of contractors may be managed by a construction manager hired by the university in the Procure Professional Services phase.
PROCURE CONSTRUCTION STEPS — Advertise the project for bidding (total project cost greater than $25,000) — Conduct pre-bid meeting with interested bidding contractors — Receive and analyze bids for lowest responsive bidders — Perform responsibility analysis, if necessary — Select bidders and award contracts
DELIVERABLES — Completed construction contracts and coordinated set of
contract documents — Board of Regents resolution for construction bidding
approval for projects greater than $4 million
Texas (education code 51.778)
governs competitive bidding of procurement of construction services.
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MANAGE
CONSTRUCTION
GOAL
Construction begins with a pre-construction meeting—a time for the Project Team and construction contractors to review the scope and charter and define roles and responsibilities. — To complete project construction per contract documents
The prime contractors are responsible for the purchase of all components included in the bid documents, delivery coordination, installation of materials and facilitating inspections to achieve building occupancy. Project and Executive Team meetings continue during construction to review project progress and make decisions. The architect/engineer will review submittals from contractors and will be on site to respond to questions and review work. Throughout the course of construction, the architect/engineer, Project Manager, Project Representative, Construction Manager and prime contractors will meet regularly to report on construction activities and track submittal status, budget and schedule. This is a time to resolve conflicts and other project issues. The lead contractor or architect/engineer leads and documents these meetings. Whether generated by unknown conditions, coordination issues or errors and omissions in documents, changes will occur during construction. Managing and executing change documents are fundamental activities during construction. A construction contingency is included in the budget to pay for changes during construction. Customers also may request changes in the work and carry a contingency to pay for these requests. Several of the most common projCONSTRUCTION STEPS ect changes are detailed — Pre-construction meeting on the next page. Sometimes there are disputes among the university and contractors that need to be resolved by the Project Team. The construction contracts and the specifications for the project describe the process for the resolution of disputes, changes in schedule and scope of work, contractor payments and other matters of process.
— Regular project meetings — Review and approval of submittals — Review and approval of
completed work — Manage change and disputes — Make adjustments as needed to the
schedule and budget — Approve contractor payments
DELIVERABLES — Completed project ready for use
KEY DEFINITIONS MANAGING CHANGE: CHANGE ORDERS DIFFERING CONDITION: This refers to a condition that could not have been anticipated within the “standard of care” for the profession. This is more often in a renovation where existing conditions could not be predicted. ERROR/OMISSION: A change caused by an error on the contract documents or missing scope or omission that was intended to be included in the contract documents or should have been included within the “standard of care” for the profession. FIELD RESOLUTION: Most often associated with disputes between contractors or between a contractor and the university. It could be used to redistribute funds when a contractor affects the work of another or the project requires supplementing work of a contractor. OWNER REQUEST OTHER: An increase in the scope of the program beyond what was anticipated for inclusion in the contract documents that benefits the university, not just a user of the facility. It is typically the judgment of the Project Manager that it benefits the project. An example would be a variance from the Building Design Standards or the addition of bike racks. OWNER REQUEST USER: An increase in the scope of the program beyond what was anticipated for inclusion in the contract documents that is requested by and only benefits the user of the facility. Examples include additional cabinets, moving a wall and requesting better finish materials. VALUE ENGINEERING: Reducing scope to reduce the cost of the project, finding the “second right answer” to bring the project back in budget.
MANAGING CHANGE: CONTINGENCIES CONSTRUCTION CONTINGENCY: Money held as “soft cost” funds to assist in any monetary issues that may arise after the project is bid. The amount held varies, primarily because of complexity and phasing of the project but is normally budgeted at 10 percent of the construction cost. DESIGN CONTINGENCY OR ESTIMATING CONTINGENCY: Money held as “hard cost” funds to assist in covering costs that cannot be anticipated during the design period. Generally, this amount starts between 9 to 6 percent during schematics, reduces to 6 percent during design development and ends at 0 percent when the final estimate is established before bidding.
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CLOSEOUT AND TRANSITION GOAL — To facilitate the occupancy and turnover of the finished project to the customer and Plant Operations (or an auxiliary maintenance/operations area).
Once a Certificate of Occupancy or Temporary Certificate of Occupancy has been received, the building or space can be occupied. Once the building or space is occupied, the ownership of the project is turned over to the customer and Plant Operations. Before project completion, a transition meeting will occur with the customer, Project Manager and Plant Operations staff. Services that Plant Ops will provide and contact information will be discussed and shared with the customer during this meeting. Customers should contact FIXIT with any service requests once transition has occurred.
After customers occupy the facility, it continues to be the Project Team’s responsibility to ensure any outstanding work is completed. Warranty items are reviewed 11 months after occupancy with the architect/engineer, Plant Operations and the customer. The Closeout and Transition phase lasts through the duration of the project warranties (typically one year). Project closure also requires that all contracted work be completed and final invoices processed for payment. Once the project Account is reconciled with the university’s general ledger, the project can be marked closed.
DELIVERABLES
CLOSEOUT AND TRANSITION STEPS
— Certificate of Occupancy (e.g., Temporary Certificate, Final Occupancy, and 100% Final Reports)
— Final Commissioning
— Final drawings that reflect any changes (record drawings) and operating and maintenance manuals
Assessments, evaluations and lessons learned are facilitated by the Project Manager during this phase. This provides the customer with an opportunity to provide feedback and suggest improvements in the Planning and Project Delivery process.
— Comply with Texas Department of Licensing and Regulation (TDLR) for Architectural Barriers • Code 469.101 (Provisions) • Code 68.80 (Fees)
— Beneficial occupancy notifications from Public Safety
— Complete any outstanding work
— Planned building turnover to customer and Plant Operations
— Project transition to Plant Operations and customers
— Training programs for building operating systems — Customers move in — Final payments are made — Project assessments and lessons are learned — Final financial reconciliation
NEXT STEPS
Once the building or space has been transitioned to the customer and Plant Operations, routine Service Requests for buildings on main campus should be requested through www.uh.edu/ plantops/services/online-request. A full list of services can be found at www.uh.edu/plantops/services. If an additional scope of work for design, construction cost estimates or signage is identified once the project is complete, a new Project Request Form should be submitted.
GET TO KNOW YOUR PLANT OPERATIONS STAFF Facilities Management Operations offers an integrated service model that provides customers with a single point of contact and around-the-clock service. Plant Ops Leaders work closely with Building Contacts to provide personalized service for each building, department and college.
REQUESTING A SERVICE FIXIT handles all routine customer requests on main campus, including: — Custodial
SERVICE REQUESTS To submit a service request, Dial 3-4948 (FIXIT)
— Elevator Service — General Facility Support — Grounds — Maintenance — Service Questions — Small Project Requests — Utilities
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SUSTAINABILITY
CREATING A CAMPUS THAT IS TIMELESS, maintainable and flexible, incorporating responsible use of fiscal, environmental and human resources and having minimal environmental impact.
SOME UH SUSTAINABILITY PROGRAMS:
ENERGY UH is committed to improving energy efficiency, reducing energy consumption and investigating cost-effective options for use of renewable energy sources.
WASTE MANAGEMENT: RECYCLING AND COMPOSTING Disposal of materials represents an increasing cost to the environment and the university. As a result, the university has adopted a waste reduction goal.
WATER USAGE The commitment to campus sustainability and stewardship is a responsibility shared by each and every member of our campus community
Low-water flush valves and flow restrictors are used in all applicable areas. Landscape design strives to utilize native plantings that require minimal maintenance, and rainfall will be utilized for irrigation.
BUILDING ENERGY MANAGEMENT AND UTILITY METERING Energy audits and utility metering ensure that systems are operating efficiently. As funded, building system controls will be added to existing systems, and new buildings will have full metering capabilities to reduce energy use and costs.
HISTORIC RENOVATIONS AT THE UNIVERSITY OF HOUSTON
Plant Operations supports The University of Houston’s academic facility needs while working to provide responsible stewardship for the long-term preservation of the university’s physical assets.
AIM Center for Investment Management, C.T. Bauer College of Business Melcher Hall was first constructed in 1986. In August 2000, it went from being known as the College of Business Administration to the College of Business after receiving a $40M gift from Charles T. Bauer. In fall 2001, the facility underwent renovations including the development of Wall Street styled investment management center with a NASDAQ ticker, plus a redesigned lobby and front building entrance. TYPE OF PROJECT: Renovation of lobby and creation of investment center COST: $1.3 million ARCHITECT: Gensler
M.D. Anderson Memorial Library M.D. Anderson Library opened in the fall of 1950. In February 2005, the library was expanded by an additional 170,015 sq. ft. of new space and was designed to meet the technological needs of faculty, students, and staff, plus provide room for its increased volumes of books and journals. New enhancements included two training rooms, a special function room built for multi-purpose activities, a dramatic new entrance with a circular, a three-story atrium, 24-hour access study areas, and computer workstations. TYPE OF PROJECT: Complete renovation of library and Honors College COST: $45.2 million ARCHITECT: Morris Architects | Shepley Bulfinch Richardson & Abbott
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Pla nt O pe r a ti o n s
AT
Plant Operations 4211 Elgin St. Houston, TX 77204 Facilities Management 713.743.5566 713.743.5741 Facilities Planning & Construction 713.743.8025 713.743.5741 www.uh.edu/plantops